Regulatory Alerts2023-04-20
CSA Staff Notice 25-310: 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds
The Canadian Securities Administrators issued this report detailing its 2022 oversight of the Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers Association of Canada, and their respective investor protection funds. The document highlights the regulatory framework and integration activities leading to the amalgamation of these entities into the New Self-Regulatory Organization of Canada and the Canadian Investor Protection Fund, effective January 1, 2023. It further outlines the specific oversight mechanisms, risk assessments, and rule approvals conducted by CSA staff during the transition period to ensure continued compliance with securities legislation.
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